Gregory Peter Horn

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2017-08-22
TX	RA	APPROVED_RES	2016-09-28
IN	RA	APPROVED	2013-02-12

NC RA
APPROVED

Since 2017-08-22
TX RA
APPROVED_RES

Since 2016-09-28
IN RA
APPROVED

Since 2013-02-12

Branch Locations

Lawrenceburg, IN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Guilford	IN	02/2013	Present

02/2013 → Present

Lpl Financial

Guilford, IN

Previous Registrations

2005-02-21 → 2012-08-22

Valic Financial Advisors, Inc.

Carmel, IN

Carmel, IN

Other Businesses

1. BUSINESS NAME: HORN FINANCIAL SERVICES ADDRESS: 5884 VIKING DRIVE, PO BOX 38, GUILFORD IN. 47022 HORN FINANCIAL SERVICES IS A DBA NAME WITH REGARD TO LPL FINANCIAL. BUSINESS STRUCTURE IS A SOLE-PROPRIETERSHIP. THIS IS AN INVESTMENT RELATED BUSINESS THAT COMMENCED IN 2/13. 2. 12/31/2020 - Horn Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/30/2021 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-18
S63	Uniform Securities Agent State Law Examination	1993-09-09

S66 Uniform Combined State Law Examination

2005-02-18
S63 Uniform Securities Agent State Law Examination

1993-09-09

View on SEC IAPD